Comments on FINRA Regulatory Notices

Below is a listing of Regulatory Notices for which FINRA has requested and received comments.

Date of Pubsort ascending Title Description
Nov 9, 2004 Notice to Members 04-80
NASD Seeks Comment on Proposed Changes to the OATS Rules
Comment Period Expired January 20, 2005
Oct 12, 2004 Notice to Members 04-75
NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements
Comment Period Expired November 26, 2004
Aug 4, 2004 Notice to Members 04-55
NASD Requests Comment on a Proposed Uniform Branch Office Registration Form
Comment Period Expired September 3, 2004
Jun 9, 2004 Notice to Members 04-45
NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities
Comment Period Expired August 9, 2004
Mar 17, 2004 Notice to Members 04-23
NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan (MRVP) to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5); and (2) Adopting a Rule to Create an Inactive Disclosure Review Registration Status
Comment Period Expired April 19, 2004
Feb 3, 2004 Notice to Members 04-07
NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs)
Comment Period Expired March 12, 2004
This version corrects certain administrative and other non-substantive text.
Dec 9, 2003 Notice to Members 03-77
Disclosure of Mutual Fund Expense Ratios in Performance Advertising: NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
Comment Period Expired January 23, 2004
Dec 4, 2003 Notice to Members 03-76
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program); Access to Information Available Under Interpretive Material 8310-2
Comment Period Expired January 9, 2004